Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WANG, KEYI
Chinese Name of Relevant Individual
王克一
HKMA Registration Number
AG4165
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2020 - 20 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jun 2020 - 20 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Jun 2020 - 20 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jul 2014 - 02 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
23 Jul 2014 - 02 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
23 Jul 2014 - 02 Nov 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
WANG, KEYI
:
Chinese Name of Relevant Individual
王克一
:
HKMA Registration Number
AG4165
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4165
UBS AG
Type 1: dealing in securities
10 Jun 2020 - 20 Aug 2021
No
AG4165
UBS AG
Type 4: advising on securities
10 Jun 2020 - 20 Aug 2021
No
AG4165
UBS AG
Type 6: advising on corporate finance
10 Jun 2020 - 20 Aug 2021
No
AG4165
UBS AG
Type 1: dealing in securities
23 Jul 2014 - 02 Nov 2018
No
AG4165
UBS AG
Type 4: advising on securities
23 Jul 2014 - 02 Nov 2018
No
AG4165
UBS AG
Type 6: advising on corporate finance
23 Jul 2014 - 02 Nov 2018
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.